Risk Assessment - Guidance Notes
Version 1.1 March 2015
Risk Assessments
Risk Assessment is a simple process, which, if done correctly, will ensure that those working on
behalf of the University are properly informed about their working conditions, risks and how to
avoid them.
This document will assist you in completing a risk assessment, based on the Health and Safety
Executive’s 5-step model (for more on that, see http://www.hse.gov.uk/risk/controlling-risks.htm).
Step 1 – Identify the Hazards
Identify hazards relating to the activity/location/equipment you’re envisaging working with, which
you could reasonably expect to result in harm or loss, including business disruption or property
damage. Some of the following are hazards that you might want to consider, but this list is not
exhaustive:





Health & Safety hazards (i.e. tripping, manual handling, fire hazards)
Working Environment (i.e. noise, lighting, temperature / humidity / ventilation)
Equipment
Communications
Estates & Buildings
Many hazards can be eliminated without needing to write up a full risk assessment. For example,
hazards related to damaged or unserviceable equipment can be removed entirely by decommissioning it. Trailing wires can be re-positioned, largely removing the risk of people tripping up,
and unblocking a fire exit door eliminates hazards relating to difficulties exiting the building.
Step 2 - Determine who might be harmed and how
It may not be necessary to identify individuals; however, specific groups of staff who may be at risk
will need to be assessed. Categories may include young workers, trainees, new or expectant
mothers, people working on their own (lone working) at any point, etc.
Also consider potential risks to other people who may visit the area/come into proximity with the
set-up, such as cleaning staff, maintenance workers, visitors to the area (e.g. on Open Days or visits
from schools), and even trespassers.
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Risk Assessment - Guidance Notes
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Step 3 - Evaluate the risks and establish control measures
This step involves considering the hazards you’d identified in Step 1 and assigning each a risk rating
(see below).
For hazards with a significantly high risk rating, additional control measures will need to be
identified which would bring down the level of risk. Also at this stage, responsibility for carrying out
each of the additional control measures needs to be assigned to a specific person, and recorded.
Here’s a trigger-list of aspects to consider for a lab/workshop setting:
Student Projects
Specialist environments
1) during normal use
Hazards related to each
piece of equipment
Each type of substance
carrying a "Hazardous"
label
3.1
2) during servicing & maintenance, if carried out by lab stuff.
If servicing/ maintenance is done by manufacturer/central services, this
needs to be recorded clearly.
Safety data sheet for each type of hazardous substance will have
information on hazards.
COSHH risk assessment will looking at how the substance is used in this
specific lab, and the relevant protective measures
Rating the risks
This system for measuring risk focuses on scoring the likelihood (probability) of a hazard causing
harm and the severity of the likely harm (the impact of the risk). The magnitude/level of the risk is
then scored as Likelihood x Consequences.
The risk matrix table that follows gives you an at-a-glance value for how significant a risk is, and
whether you need to consider additional measures to reduce it.
It is understood that you are using your judgement in assigning ratings to the probability of
harm/damage and the likely severity, and that the ratings will therefore be subjective.
The standard that the Health and Safety Executive recommends that you apply therefore is to
consider what is “reasonably foreseeable” based on the information available at the time of doing
the Risk Assessment.
Likelihood
Estimated probability of harm
Do not believe will happen, one-off.
Exceptional circumstances
Could occur at some time,
not expected but possible.
May/could occur at some time.
Will probably occur.
Likely to occur.
Estimated
Likelihood
Likelihood
Rating
Very Unlikely
1
Unlikely
2
Likely / Possible
Very Likely
Almost certain
3
4
5
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Risk Assessment - Guidance Notes
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Severity
Severity
rating:
1
Minor /
Potential
consequences minimal
Injury
Complaint/
Claim
Potential
2
3
Minor /
3 day
some damage reportable
Over seven days
Minor injury or
off work /
Minor injury not illness, first aid
Possible hospital
requiring first aid treatment
treatment
needed
required.
Locally resolved
complaint
Justified
complaint
affecting
customer
experience
4
Long- term
5
Catastrophic
Major injuries
RIDDOR reportable.
or long term
Death or major
incapacity /
permanent incapacity
disability/fracture
(loss of limb)
Justified
complaint
Multiple justified
involving lack of
complaints
appropriate
customer care
Multiple claims or single
major claim
Service/
Loss/interruption Loss/interruptio Loss/interruption Loss/interruption > Permanent loss of
Business
> 1 hour
n > 8 hours
> 1 day
1 week
service or facility
Interruption
Enforcement
Action.
Reduced rating. Low rating.
Minor
Recommendatio Challenging
Critical report.
recommendations
Inspection/
ns given.
recommendations Multiple
Prosecution
Minor nonAudit
Non-compliance Non-compliance challenging
compliance with
with standards with core
recommendations.
standards
standards
Major noncompliance with
core standards
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Risk Assessment - Guidance Notes
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Risk Rating Matrix
The scores from the above tables can be plotted onto the risk matrix below showing the resulting
risk scores (Risk = Likelihood x Severity).
Severity
Likelihood
1
2
3
4
5
1
1
2
3
4
5
2
2
4
6
8
10
3
3
6
9
12
15
4
4
8
12
16
20
5
5
10
15
20
25
Once you have a risk score, they can be roughly grouped in four categories.
Risk scores are viewed as acceptable, adequate, tolerable or unacceptable:
Acceptable
(1-4)
Adequate
(5-9)
Tolerable
(10-16)
Unacceptable
(17-25)
No further action
required, but ensure
controls are maintained
Look to improve
at next review
Look to improve
within specified
timescale
Stop activity and
make immediate
improvements
For risks rated within the Tolerable or Unacceptable categories, you need to consider what further
measures can be taken to reduce the risk to Acceptable or Adequate level.
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Risk Assessment - Guidance Notes
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3.2
Select risk control measures
For each identified risk rated 10 or above (deep-orange and red range), you will need to consider
additional measures to reduce the risk.
General approaches for risk control measures are shown below, starting with the most potent and
then listing measures that mitigate the risk in progressively less reliable ways:
If possible ELIMINATE/REMOVE the risk
SUBSTITUTE the equipment/procedure with a less risky option
ENCLOSE/SEGREGATE the risk
PREVENT access to the risk
ORGANISE work to reduce exposure to the risk
SAFE SYSTEMS OF WORK (e.g. procedures or protocols)
Issuing PERSONAL PROTECTIVE EQUIPMENT
3.3
Rate the residual risk
Once you’ve identified reasonably practicable measures to reduce each of the risks originally scoring
10 and above, you need to re-assess the resulting reduced level of risk, using the same formula for
Risk Score = Likelihood x Severity.
Continue with this process, introducing additional risk controls until all risk scores are brought down
to the Acceptable-Adequate range (1-9).
If you need assistance with identifying appropriate, reasonable and practicable risk control
measures, please contact your local Health & Safety Co-ordinator, or the Quality, Safety, Health &
Environment (QSHE) Office.
3.4
Assign responsibility for implementing the risk control measures and specify due date
Assign responsibility for implementing each risk control measure to a specific person and brief them
on timescales etc. Check on the implementation to ensure that the risk controls you selected are
effective in practice and that risk levels are being effectively controlled. Review if necessary.
Further guidance and resources for completing the Risk Assessment process
are available on the Health and Safety Executive website:
http://www.hse.gov.uk/risk/controlling-risks.htm
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Residual Risk Rating
(RL x RS)
Residual Severity (RS)
Further Risk Controls required
(if Risk Rating is 5 or above)
Residual likelihood (RL)
Existing Risk Controls
Risk Rating (LxS)
Who may be harmed?
Severity (S)
Hazards Identified
Likelihood (L)
Step 4: Record your assessment and recommendations on the Risk Assessment form
Responsible for
implementing further
Risk Control measures
Due Date
for
implementing
measures
Step 5: Monitor & Review
All risk assessments must be reviewed and revised as necessary, therefore all assessments and safe
systems of work will need to be reviewed annually, or before as circumstances dictate. A review of
the assessment may be required following:
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The assessment lapsing past its valid-to date (default valid period is 12 months)
Any accident or near-miss event connected with the work activity
New guidance / legislation being published relating to the activity or process
New equipment/processes being introduced which are likely to affect the risks
New staff arriving who may have less experience with the task or process
Date
of assessment:
Due for review:
Review process:
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